Steven Lee Cole | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Steven Lee Cole was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 5 firms and has passed the Series 63, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 17, 2015 - January 15, 2019

WEALTH WATCH ADVISORS, INC

RIA

CRD#: 172002

Mebane, NC

Past

July 1, 1999 - September 27, 2002

USALLIANZ SECURITIES, INC.

BD

CRD#: 40875

MINNEAPOLIS, MN

Past

March 1, 1996 - July 2, 1997

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

SPRINGFIELD, MA

Past

July 25, 1985 - March 1, 1996

G. R. PHELPS & CO., INC.

BD

CRD#: 173

Past

January 27, 1984 - May 23, 1985

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD

CRD#: 2881

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WW

WEALTH WATCH ADVISORS, INC

CRD#: 172002 / SEC#: 801-96180

RIA

Registered Investment Advisory firm - (5/6/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

Series 63

Date: 10/21/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 22

Date: 4/29/1986

Direct Participation Programs Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 1/26/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WW

WEALTH WATCH ADVISORS, INC

CRD#: 172002 / SEC#: 801-96180

RIA

Registered Investment Advisory firm - (5/6/2015 Approved)

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Contact information

Main Address

S Valley Hwy 8310, Englewood, CO 80112

Mailing Address

Phone number

(855) 822-3708

Established

Firm type

Fiscal year end

# of Employees

54

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,556
AUM (Assets Under Management)	$ 473,650,570

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Steven L. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEALTH WATCH ADVISORS, INC

USALLIANZ SECURITIES, INC.

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

WEALTH WATCH ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/21/1985

Series 22

Date: 4/29/1986

Series 6

Date: 1/26/1984

Current Firm

WEALTH WATCH ADVISORS, INC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTH WATCH ADVISORS, INC

TRUST BUT VERIFY

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